James Raymond Austin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Raymond Austin, a licensed former licensee with CE reference AVQ934. This person has 8.8 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-10-05 | 2019-07-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2010-09-06 | 2019-07-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-06 | 2010-12-16 |